RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L•••• L• T•••••••••
- M••••• S•••••• wirehouse currentsince Nov 4, 2024 · Pleasanton, Ca
- B•• M••••• S••••••••• C••••••••• otherJun 11, 2019 to Jun 21, 2023 · Walnut Creek, Ca
- A••••••••• L••• otherMar 25, 2009 to Jun 1, 2018 · St. Louis Park, Mn
- C••••••••• I••••••••• L•• mixed wealthDec 19, 2005 to Nov 27, 2007 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2005 to Dec 16, 2005 · Stamford, Ct
- B•• M••••• S••••••••• C••••••••• to M••••• S••••••left Jun 21, 2023, registered Nov 4, 2024 (502 days) · Other
- A••••••••• L••• to B•• M••••• S••••••••• C•••••••••left Jun 1, 2018, registered Jun 11, 2019 (375 days) · Other
- C••••••••• I••••••••• L•• to A••••••••• L•••left Nov 27, 2007, registered Mar 25, 2009 (484 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 16, 2005, registered Dec 19, 2005 (3 days) · corporate re-registration, not a move
- L•••• L• T••••••••• left B•• M••••• S••••••••• C••••••••• for M••••• S•••••• (registered 2024-11-04)Jun 21, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address